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Regulatory Compliance Consultant Resume Example

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REGULATORY COMPLIANCE CONSULTANT
Additional Information

WILL RELOCATE and/or WORK REMOTELY

Professional Summary

Results-Proven, Technically Skilled and Solidly Credentialed Regulatory Compliance Professional. Forward-thinking and seasoned compliance officer focused on working collaboratively with management and staff to optimize policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and compliance best practices.

Skills
  • Regulatory Examinations
  • Legal Interpretation
  • Federal and State Regulations
  • Control Room
  • Internal Investigations
  • Compliance Training and Presentations
  • Surveillance
  • Trading Desk Compliance
Work History
Regulatory Compliance Consultant, 03/2011 to 04/2021
Company Name – City, State
  • Advised/supervised firm-wide compliance with International & domestic securities laws, rules & regulations (e.g., SEC, FINRA, NYSE, FSA (Financial Services Authority, United Kingdom), SFC (Securities and Futures Commission, Hong Kong).
  • Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
  • Nearly 100% reversal of alleged market conduct violations through collaboration with firms' supervisory teams, addressing sales practices, trade reporting and market making of domestic & international trading desks (e.g., Institutional Sales, Proprietary, Fixed Income and Index Arbitrage).
  • Achieved more than 80% increase in positive outcomes after revision of response strategies to regulatory discoveries and potential disclosures (e.g., reinterpretation of rules and regulations and consideration of mitigating factors).
  • Increased compliance accountability of upper management from zero to almost 100% by implementing dynamic in-house data base dedicated to allocation of supervisory obligations and their corresponding rules and regulations.
  • Developed and implemented performance improvement strategies and plans to promote continuous improvement systems for regulatory updates, eliminating over 80% most common regulatory findings regarding compliance procedures, record retention and filing deadlines (e.g., Equity Origination/Syndicate, SEC Form 13H, Advisors Act Form ADV, New Accounts Customer Due Diligence/Know Your Customer/Suitability, Domestic and International Short Sale regulations and thresholds).
  • Assessed/supervised Control Rooms: implementing 24/7 internal controls to ensure compliance with Information Barriers' policies and procedures (e.g., Restricted List, Watch List, Employee Trading and surveillance of Research, Investment Banking, Sales and Proprietary Trading communications).
  • Assessed/supervised internal and external communication methods (e.g., review and clearance of research and advertising materials, incoming/outgoing e-mail).
  • Collaborated with department supervisors and IT supervisory teams targeting inefficiencies of business controls surveillance (e.g., automation of employee trading, insider trading surveillance, policy affirmations, employee disclosures, gifts, entertainment, political contributions, marketing review, customer complaints and regulatory inquiries) by rebuilding in-house data mining and warehousing software incorporating manual and external vendor solutions.
  • Reviewed/drafted Domestic and International trading desk reporting rules, policies and procedures (e.g., Fixed Income, Index Arbitrage Proprietary and Sales).
Director (Deputy to Chief Compliance Officer), 11/2005 to 03/2011
Company Name – City, State
  • Achieved consistent and positive SEC and FINRA examination results through legal interpretation of examination findings and cultivation of positive regulatory relationships.
  • Prepared and presented comprehensive reports to upper management in New York and London internal audit teams, covering compliance issues and recommendations.
  • Acted as Interim Chief Compliance Officer AND Trading Desk Compliance Officer during 1st takeover (2006-2008).
  • Developed and drafted internal and external underwriting procedures.
  • Developed and drafted procedures resulting in firm's equity origination/syndicate desk generating revenue within 2+ months.
  • Key point of contact for firm's personnel regarding all compliance-related matters.
  • Collaborated with Sales, Proprietary and Fixed Income Trading, Research and Investment Banking to address indications of improper sales practices and market conduct violations.
  • Enforced regulations by reviewing Federal and State laws to confirm compliance.
  • Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines.
  • Made suggestions and kept upper management apprised of new data warehousing and data mining compliance solutions.
  • Reviewed and negotiated contracts with vendors and verified terms and corrections met all regulatory requirements.
  • Tracked both internal and external data export while monitoring for compliance risks.
  • Planned and executed compliance audits to check company policies, procedures and controls.
  • Conceived, maintained and monitored database of firm wide supervisory procedures required by all Federal and State rules and regulations.
  • Conducted required compliance procedures for Anti-Money Laundering (AML), Customer Due Diligence (CDD), Office of Foreign Assets Control (OFAC) & Financial Crimes Enforcement Network (FinCen).
  • Supervised Control Room: implementing 24/7 internal controls to ensure employee compliance with Information Barriers' (Chinese Wall) policies and procedures (e.g., Restricted List, Watch List and Research, Investment Banking, Sales and Proprietary Trading communications).
  • Surveilled and assessed internal and external documentation and communications including public relations, research and advertising materials for compliance with Federal, State and firm policies' compliance requirements.
  • Revised, drafted and maintained Written Supervisory Policies and Procedures for general operation of firm wide compliance program.
  • Developed organizational methods and policies, implementing training initiatives to deliver ongoing employee awareness and compliance with established firm procedures.
Education
Bachelor of ArtsBoston University - City, State
  • Double Major: Business Administration & Psychology
  • Minor: Probability & Statistics

FLUENT FRENCH

Website, Portfolio, Profiles
  • https://www.linkedin.com/in/marthachoy/
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Resume Overview

School Attended

  • Boston University

Job Titles Held:

  • Regulatory Compliance Consultant
  • Director (Deputy to Chief Compliance Officer)

Degrees

  • Bachelor of Arts

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